February For more information, contact: Mark Paine, (513)

APPLICATION PACKET FOR OKI-ALLOCATED FEDERAL SNK FUNDS KENTUCKY PROJECTS February 2014 For more information, contact: Mark Paine, mpaine@oki.org (513) 619-7685

Table of Contents Introduction... 1 Prioritization Process... 2 Ohio Project Conditions... 3 Goals and Objectives... 4 Instructions for Applicants... 8 Transportation Factors for Highway Projects... 8 Transportation Factors for Transit Projects... 10 Transportation Factors for Non Highway Freight Projects... 11 Planning Factors for All Projects... 12 Factors for Other Projects... 14 Process for Reviewing and Ranking all Projects... 15 Transportation Factors for Highway Projects... 16 Transportation Factors for Transit Projects... 17 Transportation Factors for Non-Highway Freight Projects... 18 Planning Factors for All Projects... 19

Introduction The purpose of this document is to provide information about the process used by the Ohio-Kentucky-Indiana Regional Council of Governments (OKI) to prioritize and award OKI-allocated federal transportation funds from the Kentucky Transportation Cabinet in Kentucky to projects with merit that further the goals of the continuing, coordinated and comprehensive nature of transportation planning towards implementation. This process discusses only awards over which OKI has direct ability and duty to make, including federal Surface Transportation Program funds for Northern Kentucky--SNK funds. This packet also includes the application and guidance for applicants. This document is divided into four sections: Prioritization Process the formal description of the OKI Board-adopted procedure Goals and Objectives as stated in OKI s Long Range Plan Guidance for Applicants explanation of overall process details and description of factors and measures used in project scoring Project Scoring Process the listing of factors, measures and points The Application Form, to be used by the applicant in providing pertinent information on the project, is attached at the end of this document. 1

Prioritization Process OKI receives a sub-allocation of federal Surface Transportation Program for Northern Kentucky (SNK) and Transportation Alternatives (TA) funds that include a proportional sub-allocation (ceiling) of the Kentucky Transportation Cabinet s authority in Kentucky to obligate these funds. The OKI Board of Directors has established the following process for soliciting, reviewing and ranking highway, transit and non-highway freight projects funded with OKI-allocated SNK funds. Transportation Alternatives applications in Kentucky follow a separate procedure developed for these projects. The Prioritization Subcommittee, a subcommittee of the OKI Intermodal Coordinating Committee (ICC), reviews and revises the scoring process for SNK applications on an as needed basis. 1. Establish a project solicitation period based on a TIP/STIP development schedule responsive to the needs of the state transportation agencies. 2. Advertise the project solicitation period via the OKI website, flyers, etc. 3. Hold a workshop for prospective applicants to inform them of the application process, deadlines and scoring procedures developed by the OKI Prioritization Subcommittee. 4. Accept completed applications until the advertised deadline. At this point, the project request is fixed no changes in cost, scope or other aspect will be allowed. The only exception to this requirement will be if non-oki funding becomes unavailable to the applicant and the project cost must be reduced. 5. Hold Priority Subcommittee Review Meetings. These meetings allow for discussion of individual highway and transit projects by the subcommittee and the eventual ranking of projects funded with OKI-allocated funds. The ranking of projects is based on the ICC adopted scoring process shown later in this document. 2

Kentucky Project Conditions The following funding limitations will be applied to each transportation project requesting OKI-allocated SNK (STP for Northern Kentucky) funding. 1. Maximum funding will be awarded at the amount shown on each application or as determined by the OKI Board of Directors. Applicants should make sure their request is sufficient to cover the cost of the activities shown in their application. However, given that unforeseen circumstances may occur, a one-time allowance of ten (10) percent above the funding amount may be granted if OKI has sufficient funds to cover the additional amount needed. Applicants should contact OKI as soon as the additional funding is needed as this ten percent cushion is not guaranteed. 2. Design (D), Utilities (U), Right-of-Way (ROW) and Construction (CON) phases are eligible for funding. Projects requesting SNK funds for the design, utilities and/or right-of-way phases must demonstrate the probability of obtaining construction funds in the future. 3. The standard local match requirement for SNK funded projects is 20%. Applicants may commit a higher percentage of non-federal match to gain additional scoring as shown in the Planning Factors section of the ICC adopted scoring process. 4. Applicants planning to use state funds as match MUST have prior approval from KYTC before applying. In addition, projects requesting state funds as match for capacity-adding projects (widening projects) MUST be listed in the Six-Year plan and the OKI 2030 Long Range Plan. 5. Applicants must provide a certified or otherwise official cost estimate for each project request. 6. The following scope limitations will apply to each project request: Each applicant is limited to a total of two project applications. One application may request funding for more than one phase, i.e. an application may request funds for both the utilities and right-of-way phases. Total funding request per application cannot exceed $5,000,000. Projects must be located within the OKI urbanized boundary in Boone, Campbell or Kenton County. 3

Goals and Objectives Since the Transportation Improvement Program (TIP) is the short-range planning element of the Metropolitan Transportation Plan (MTP), each highway and transit project contained within the OKI TIP must demonstrate that it conforms to the goals and objectives listed in the OKI MTP. This conformity is achieved through the adopted scoring process that has taken these goals and objectives into consideration. The following narrative, including the list of goals and objectives, is taken from the OKI 2040 Regional Transportation Plan (the MTP for the region) that was adopted by the OKI Board of Directors on June 21, 2012. Transportation has long been a major contributor to the region s prosperity and quality of life. For individuals and businesses, the efficiency of the transportation system in moving people and goods has a direct financial impact. From a broader perspective, the transportation system s efficiency has repercussions for the entire economy. In the year 2012 and beyond, the transportation system s efficiency will become increasingly important as prosperity becomes more dependent on regional performance in a global economy. If steps are not taken to improve the region s transportation system, it will become less efficient as evidenced by more congestion, reduced opportunity for travel by different modes, and poorer connections among modes. Transportation system inefficiencies could impede economic growth and lower the region s competitive edge by adding to transportation costs and delays and reducing travel and transport opportunities. In addition to its economic impacts, transportation also plays an important role in the quality of life. The interstate system, for example, has improved mobility at the same time that it has promoted a population and job shift from core areas to suburbs with significant social, environmental, and economic consequences. Transportation improvements will continue to affect development and travel patterns and opportunities. The following goals serve to define how to meet this region s transportation needs both now and in the future. Each goal represents a key issue addressed in this metropolitan transportation plan. Objectives clarify how to achieve the goals. OKI 2040 Regional Transportation Goals Goal: Economic Vitality The transportation network can support the economic vitality of the region by enabling global competitiveness, productivity and efficiency as shown through the plan s emphasis on ideas that address this issue. Objectives: Implement techniques that improve traffic operations and mobility so that travel times are reliable and the cost of doing business in the OKI region is competitive and predictable Increase the coverage area and effectiveness of ARTIMIS so that traveler information is readily available and the impacts of incidents can be minimized 4

Increase security for travel by transit and non-motorized modes Goal: Safety The transportation system should provide for reducing the risk of crashes that cause death or injuries. Objectives: Reduce the number and severity of traffic crashes Expand the deployment of ITS to reduce crashes and improve incident response time Reduce crashes occurring during transfers between transit and pedestrian facilities Facilitate use of improved design of shared roadways to increase safety for motorists, cyclists and pedestrians Goal: Security A regional security strategy relates to sustainable prevention, detection, response and recovery efforts to protect regional transportation systems critical infrastructure from terrorism and natural disasters. Objectives: Facilitate implementation of homeland security measures to protect key regional infrastructure assets Incorporate the transit providers system security program plans into this plan and other regional transportation planning efforts Collaborate with agencies throughout the region to assist in developing security goals and appropriate strategies Utilize the most current technology and guiding principles in helping to minimize risks to regional security Goal: Accessibility and Mobility Options To enable people and commodities to have greater accessibility and to be moved with greater speed and safety, major investments are needed to improve the transportation system and reduce congestion. Improvements are needed both for expanding the present system and improving its efficiency. Improvements should be sensitive to differences in development patterns and community needs with special consideration given to safe use of the transportation system by the region s older population. Objectives: Improve the operating efficiency of existing infrastructure Expand transportation infrastructure to provide additional access and capacity for moving people and goods Reduce congestion by expanding alternatives to SOV travel and reducing peak hour travel 5

Expand the implementation of Intelligent Transportation System (ITS) projects in order to improve operational efficiency. Acknowledge and incorporate the use of non-motorized travel (walking and biking) into the planning process as an alternative mode of travel and means of connecting modal options Facilitate efficient intermodal transfers for both passengers and freight Goal: Environmental Protection, Energy Conservation and Sustainable Development Air quality is a major environmental issue in the OKI region. Much progress has been made in reducing mobile source emissions but the impact of travel growth on total emissions could threaten the region s ability to maintain federal clean air standards. Emission reductions are needed to protect air quality. Strategies that promote the effective and efficient use of natural resources would reduce mobile source emissions and would also have a beneficial effect on other environmental issues and quality of life. Objectives: Reduce SOV travel Facilitate greater use of non-motorized modes (walking, biking) Promote strategies that reduce motorized vehicular travel Reduce mobile source emissions Encourage use of alternative fuels by both individuals, public transportation providers and private freight fleets Encourage measures that reduce the impact transportation has on water quality and noise levels Implement the recommendations of the SRPP improve consistency between local land use planning and regional transportation planning Consider local planning recommendations as part of transportation studies, transportation improvements and funding prioritization Promote regional and local land development techniques and policies that create transportation choices and that ensure coordination between the provision of public facilities and services and land development and redevelopment Goal: System Integration and Connectivity A functional transportation system is one that allows people and goods to travel efficiently between their desired destinations. Objectives: Plan in such a way that the functional design of a roadway is consistent with the intended use of the roadway 6

Optimize the surface transportation facilities access to airports, transit facilities, park and ride lots and freight intermodal facilities Goal: Efficient System Management and Operations The Congestion Management Program (CMP) is a systematic process for managing congestion that provides information on transportation system performance and on alternative strategies for alleviating congestion and enhancing the mobility of persons and goods to levels that meet state and local needs. Objectives: Implement techniques that improve traffic operations including access management techniques that improve mobility and safety Identify and prioritize locations that require system enhancement and/or expansion Advance the coverage area of intelligent transportation systems Identify new or expanded transit services Goal: Preservation of the Existing System Financial resources are needed to maintain the region s transportation system and address its deficiencies. In light of limited federal and state resources, there is a real need to generate funds from within the region for transportation improvements. New funding sources are needed, particularly for capital formation, and strategies to use funds prudently. Objectives: Insure adequate funding to preserve and maintain the integrity of the existing transportation infrastructure initiate efforts to establish a local revenue base to fund transportation system improvements 7

Instructions for Applicants The Prioritization Process description is the formal step-by-step process followed in the selection of projects for use of OKI-allocated federal transportation funds in Ohio. As part of the process, a workshop will be held for potential applicants where OKI staff will provide background and be available to answer specific questions about procedures. The Goals and Objectives referred to in the Prioritization Process are those that appear in the OKI 2040 Regional Transportation Plan (MTP) adopted by the Board of Directors on 21, 2012. The initial and final screening of project applications will consider how the proposal relates to those statements. The Application Form is to be filled out by the applicant. Supplemental information attached to the form should be as condensed as possible, since all applications will be reproduced and provided to Prioritization Subcommittee members. For example, if a feasibility report has been prepared for the proposal, the applicant should excerpt and summarize rather than simply attaching the entire report. The Project Scoring Process is the method under which the Prioritization Subcommittee reviews and ranks the individual applications. A detailed explanation of the revised scoring process is listed on page 16. An application is first scored using highway, transit or non highway freight factors, (Transportation Factors) depending on the type of project. Transportation factors take into account items to be examined during the construction/acquisition phase of a project. A subtotal of 45 points is available with the transportation factors. All projects are then scored on Planning Factors, which are factors that should have been considered during the planning, or development phase, of the project. A subtotal of 55 points is available with the planning factors. Transportation Factors for Highway Projects (45 points) 1. The Safety factor measures the existing accident rate per million vehicle miles (MVM) for the project area. Points are awarded based upon accidents per million vehicle miles (MVM) ranging from more than one accident per MVM to more than nine accidents per MVM. Projects less than one accident per MVM do not score any points on this factor. 2. The Positive Project Impact on Safety assesses the impact the proposal will have on the existing situation, ranging from 0 to 5 points. 3. The Level of Service (LOS) documents the existing congestion in the project area. Levels A through E/F produce scores ranging from 1 point to 5 points depending upon the current LOS. 4. The Positive Project Impact on LOS provides points based on how the proposal alleviates the current level of congestion. A high impact score cannot be awarded to a project that does not document an existing problem with LOS. Applicants should provide an analysis documenting how they arrived at their anticipated LOS. 8

5. The Average Daily Traffic (ADT) measures the current traffic volumes in the project area. Volumes from less than 10,000 vehicles per day (VPD) to 25,000 VPD equate to a scoring range of 1 to 5 points. A current ADT should be provided by the applicant. If the project involves numerous roadway segments, an average may be used and documented. 6. The Freight Volumes factor provides points for corridors with a high volume of truck traffic. This figure is based upon the percentage of truck traffic within the project area. The point scale was revised in 2009 to more evenly reflect the observed distribution of truck percentages on regional roadways. Up to 5 points are available. 7. The Roadway Classification is directly related to the formal designation of the federal functional classification of the roadway. A roadway must be classified as a collector or higher to be eligible for federal funding. 8. The Complete Streets - Highway factor will award up to 5 points. A complete street is a public thoroughfare that accommodates all modes of travel. Projects that advance the concept of complete streets will be judged by the number of modes accommodated after completion of the project. Eligible modes include motor vehicles, transit, bicycles and pedestrians. In addition a point can be earned for traffic calming related safety improvements (See the terminology section). As stated above, the complete street section points are awarded for the number of modes accommodated after completion of the project. For example, improvement of a street that already has sidewalks gets a point for sidewalks even though they were not added as part of the project and a point for the roadway improvement. A project that adds facilities for bicycling and walking to existing streets scores a point for each facility because each is part of the total number of modes accommodated. A project on a street that is used for fixed-route public transit service is awarded a point even though it is not part of the project. Inclusion of sidepath may also earn a point. See page 18 for a list of possible points. As with other highway projects, conformance with the OKI Regional Bicycle and Pedestrian Plans will be considered. Project design should conform to available guidelines AASHTO, FHWA, ADA, ITE and others. Terminology: Motor vehicles: cars, trucks Transit route: scheduled fixed route transit service uses this road (not determined by the project) Pedestrian facilities: provisions for sidewalks of appropriate design, normally 5 ft concrete pavement (wider for commercial areas) and a planting/utility strip. Existing sidewalks repaired for breaks and smooth surface. Projects require ADA compliance such as curb ramps. Bicyclist facilities: provisions for roadway bicycle facilities of appropriate design. May be striped bike lanes, shared lane markings (sharrows) wide curb lanes or sidepaths (shared use paths within a street s right-of-way), according to local public input, or shoulders on rural roads. Bike lanes must allow for adjacent parking (door zone) and intersection directional lane movements. 9

Transit: facilities that complement existing transit service such as pull outs, paved waiting areas, shelters, bike parking and transit centers. Traffic Calming: a variety of treatments intended to slow traffic such as sidewalk bulbouts, reduced turn radii, roundabouts, pedestrian refuge islands, landscaping and street trees and others. 9. The Status of Project factor awards points for the existing status of the project. The closer the project is to the construction phase, the more points it will receive. If the project is seeking initial funds for construction and right-of-way phases (no work completed), the project will receive 2 points. If right-of-way and/or construction plans are complete, the project is ready to begin and will be awarded 5 points. In Ohio, ROW and construction phases are eligible for funding; in Kentucky, design, utilities, ROW and construction phases are all eligible for funding; in Indiana, PE, ROW and construction phases are eligible for funding. Transportation Factors for Transit Projects (45 points) 10. The Positive Project Impact on Safety and Security factor awards points for the impact the project will have on safety and security. For example, a new bus or rail transit vehicle may be equipped with video and audio equipment to increase security. In addition, the new bus or rail transit vehicle may have additional safety features not found on the vehicle it is replacing. A high impact will result in five points. 11. The Useful Life of the proposed improvement can produce a score from 0 to 5 points, reflecting the value in funding longer-impact projects. Useful life guidelines are provided by the Federal Transit Administration (FTA) and will be used to score this criterion for vehicle replacement. 12. System Impact is another important factor in reviewing transit applications. Up to 5 points will be awarded with this criterion. A new bus garage, for example, would favorably impact the system, but would not affect passengers. A replacement bus would favorably impact the passengers, but not necessarily the system. An impact to the system will generate 1 point; an impact to passengers only will generate 3 points. A new transit hub, however, would favorably impact both the system and the passengers and would result in 5 points. 13. The Type factor awards points based on the type of project requesting funding. Replacement or expansion of revenue vehicles, for example, scores the highest points (10) and demonstrates the objective of improving the operating efficiency of the existing infrastructure listed in the OKI 2030 Regional Transportation Plan (MTP). 14. Time to Implementation reflects the importance of being able to implement a project in a timely fashion. The factor is based on the time after funding is granted. For example, a project that is approved in fiscal year 2010, but won t begin until 2011 will be awarded 5 points (0 to 1 years). However, if the project is not planned until 2013, the application will receive 0 points (3 to 4 years). This criterion may be affected by OKI s ability to fund a project in a given fiscal year. 15. The Positive Ridership Impact factor awards points for a project s ability to maintain or increase ridership. A high increase in ridership will be awarded 10 points, a medium increase 5 points, a low increase 2 points and no increase in ridership 0 points. 10

16. The Capital Utilization factor provides points for the item that is being replaced. The FTA guidelines will be used as a reference. For example, a large transit coach generally has a useful life of 12 years and 500,000 miles. If the average of the buses being replaced is 14 years or 650,000 miles (30% above the 500,000 miles), 3 points will be awarded. New projects, such as a new park-and-ride or new coaches for expansion of service, will not receive any points under this criterion. Transportation Factors for Non Highway Freight Projects (45 points) 17. The Mode Specific Traffic Flow factor awards points based on volume to capacity ratios in the project area. Projects greater than a 1.0 ratio indicate a high level of congestion and will receive the most available points 5 points. 18. The Impact on Roadway Congestion factor provides points based on the extent to which large trucks will be removed from roadways in the OKI region, thereby alleviating the current level of congestion. A high reduction in trucks cannot be awarded to a project that does not document an existing congestion problem. Applicants should provide an analysis documenting how they arrived at their anticipated truck reduction value. Consideration will be given to identification of primary or representative roadway facilities impacted, their current peak period capacity and congestion levels and the effect of large trucks equivalent reductions to impacted roadways. Up to 20 points are available with this factor. 19. The Safety factor awards points to projects that can be linked to improving safety conditions in the project area. The existing safety problem must be documented along with a plan to address these problems. Up to 5 points are available. 20. The Status of Project factor awards points for the existing status of the project. If right-of-way and/or construction plans are complete, the project is ready to begin and will be awarded 5 points. The project will receive fewer points based on additional steps that are needed prior to construction. 21. The Reliability factor awards points to projects that can demonstrate that they will result in an improvement to on-time deliveries. The existing on-time delivery problem must be documented with an explanation of how the project will improve reliability of freight arrivals and/or departures. Up to 5 points are available. 22. The Facility Type factor for non-highway, freight projects is intended to serve a similar purpose as the hierarchy of facility types does to highways. A clear public benefit must be demonstrated by all non-highway, freight-related projects. Like highways, railroad track is categorized according to function. Scoring is based on the type or category of railroad track that will be improved by the project. Main tracks are tracks that handle through train movements between and through stations and terminals, as opposed to switching or terminal movements. Main tracks typically experience higher train volumes and train speeds of rail cars. Projects associated with main tracks will be awarded 5 points. Passing tracks or sidings are tracks used primarily along main tracks for meeting and passing trains and to ensure safe and efficient deliveries. Projects associated with passing tracks will receive 4 points. A branch line is a railroad line that typically carries freight from its origin to a main line. 11

Projects associated with a branch line will be awarded 3 points. Lastly, a side track, switching track, and industrial track are tracks used for the loading, unloading, and storage of rail cars. Rail yard improvements would be included in this category. Projects associated with side tracks will be awarded 2 points. Water port facility types are not designated similarly as roadways or rail. 5 points are awarded to water port-related, surface projects located on a waterway suitable for commercial shipping with direct highway AND rail access. Surface projects located along a waterway suitable for commercial shipping with either direct highway OR rail access will receive 3 points. Projects that serve an ancillary port activity or those located within a commercial waterway shipping service area will receive 1 point. Planning Factors for All Projects (55 points) 23. The Replacement/Expansion factor gives preference to projects that invest in replacement rather than new facilities, reflecting the expressed priority in OKI s long range plan to maintain what currently exists before investing in new infrastructure. The points associated with this criterion take into account that some expansion projects involve a certain amount of replacement; the points for this criterion are awarded based on percentage of replacement versus percentage of expansion associated with the project. 24. The Environmental Justice factor awards points to projects that will have an overall net benefit to minority and low-income population groups per Executive Order 12898 issued by President Clinton in February 1994. The basis for Environmental Justice is Title VI of the Civil Rights Act of 1964. The OKI Environmental Justice Advisory Committee (EJAC), which reviews project applications for funding and awards points for this factor, also examines a project s impact on zero-car households, elderly persons and persons with disabilities. The overall net benefit in the scoring indicates a subjective consideration of both POSITIVE and NEGATIVE impacts. It is understood that when federal funds are involved there are federal guidelines that must be met to ensure that services and benefits are fairly distributed to all people, regardless of race, national origin or income, and that they have access to meaningful participation. Refer to Title 42 of the United States Code. A response to this section is required in order for the project to be funded even if the project is not located within one of the designated Environmental Justice (EJ) communities (See attached maps). 25. The Strategic Regional Policy Plan (SRPP) Implementation factor examines the ability of the project to help implement the policies of OKI s Strategic Regional Policy Plan. The policies within the SRPP were envisioned by the Land Use Commission to be implemented concurrently by OKI, local governments and other organizations. Implementation of these policies will help bring about more consistency between local land use planning and regional transportation planning to create a more efficient and more accessible regional transportation network that serves the needs of individual communities. Up to 5 points will be awarded for this question. 26. The Local Planning factor awards up to 5 points and examines the degree to which a project helps to implement the Strategic Regional Policy Plan (SRPP) through effective local comprehensive planning. A central objective of OKI s SRPP is for each local government to have an up-to-date comprehensive plan that links transportation, 12

land use, economic development, public facilities, housing, natural resources, recreation, intergovernmental coordination and capital improvements. The SRPP emphasizes complete and current local government comprehensive plans as a means to a more efficient multi-modal regional transportation system. The SRPP responds to the Land Use Commission s mission to bring more consistency between regional transportation planning and local land use planning. Since not all communities have complete and up-to-date comprehensive plans, OKI will again consider and award up to 5 points to proposed transportation projects that are consistent with a comprehensive plan or other discrete studies or plans such as thoroughfare plans, corridor studies, small area plans or other planning documents if the applicant can demonstrate that the plan meets similar analysis and content criteria. 27. The Air Quality/Energy factor relates to continued efforts to improve the regional air quality and encourage investment in more environmentally friendly forms of fuel use. A reduction in VMT (vehicle miles of travel), VHT (vehicle hours of travel), or Emissions Reduced can be combined to receive a score of up to 10 points. If two of the three items are reduced, a score of from 6 to 10 points will be awarded. If only one item is reduced, a score of from 0 to 5 will be awarded. Examples of these measures include the use of diesel engine pollution control devices (emissions reduced), intersection signal improvements (VHT reduced), construction of a new roadway link reducing circuitous travel (VMT reduced), or a new compressed natural gas bus on a new route (all three). 28. The Local Share factor rewards applicants that increase their local share to overmatch the required rate for local participation. The standard match rate for OKIallocated funds is 20 percent; however, the applicant can gain up to a maximum of 10 points through overmatching. 29. The Existing Condition factor takes into account the current condition of the project area, ranging from critical to good. A critical existing condition receives 5 points, whereas a fair existing condition receives 1 point; a good existing condition receives no points. 30. The Economic Vitality factor awards points for projects that serve to support existing, expanding or new employment centers. Projects that directly relate to retaining employment in or near the project area will receive 5 points. Retention needs to be documented and the connection must be explicit. Projects that directly relate to creating new employment in or near the project area will receive 10 points. Immediate employment generation must be anticipated within three years of the project s construction initiation. 31. The Applicants Project Delivery History takes into account whether an applicant has had projects slip from one fiscal year to a later year after the project has been programmed. While external factors can affect the delivery of a project, it is important for OKI to maintain a balanced budget of projects to be delivered each fiscal year. The potential for slippage needs to be addressed when a project is initially programmed. Based on projects originally programmed for fiscal year 2008 or later, an applicant who has had one project slip to a later year will be penalized 3 points; an 13

applicant who has had two or more projects slip to a later year will be penalized 5 points until the project is sold/let or deleted. In addition, if an applicant is requesting additional funds for a project that was previously funded with OKI-allocated federal funds, there may be negative points applied to the application. If a project requests up to 25% of the original funding awarded to the project, no points will be deducted. If the request is for 25% to up to 50% of the original funding awarded, the application will be penalized 1 point; an applicant requesting 50% or more of the original funding awarded will be penalized 2 points. 32. The Intermodal Elements factor awards up to 5 points for projects that involve the interaction and connection between different modes. Examples of this are such things as connections between barge and rail facilities, new roadway access to a port or new pedestrian accommodations to access transit. Factors for Other Projects In some cases, OKI will receive applications for projects that do not fit the highway, transit or non-freight highway project definition. In these cases, the Prioritization Subcommittee will examine each application and subjectively rank the application in comparison to the highway, transit and non-highway freight applications received. This ranking will be accomplished through a thorough review and discussion of the application and comparison of the estimated benefits to the region with the estimated cost of the project. 14

Process for Reviewing and Ranking All Applications All applications submitted to OKI for suballocated federal highway funding will be reviewed using the following procedure recommended by the Prioritization Subcommittee which was adopted by the OKI Intermodal Coordinating Committee (ICC) on April 6, 2004 and revised on January 10, 2006 and October 6, 2009. 1. Transit projects, highway projects and non highway freight projects will be reviewed separately using their respective factors (transportation factors) as shown on the following pages. This will allow a determination of the relative strength of a highway project compared to other highway projects, transit projects compared to other transit projects and non highway projects compared to one another an apples to apples methodology. 2. Each application will then be reviewed using the planning factors for all projects. 3. The Prioritization Subcommittee will develop a recommended ranking of all projects based on the review of transportation and planning factors and present this list to the ICC. The ICC will review the recommendations to determine that Regional Priorities are achieved through the suggested rankings. 4. After the ICC develops a final ranking of SNK projects, this recommended list will be presented to the OKI Executive Committee or Board of Directors for concurrence. 15

Transportation Factors for Highway Projects (45 points available) Factor Measure Points Safety More than 9 accidents per MVM... 5 More than 7 accidents per MVM... 4 More than 5 accidents per MVM... 3 More than 3 accidents per MVM... 2 More than 1 accident per MVM... 1 Positive Project High impact... 5 Impact on Safety Medium impact... 3 Low impact... 1 No impact... 0 Existing Level E/F... 5 Of Service (LOS) D... 4 C... 3 B... 2 A... 0 Positive Project High impact... 5 Impact on LOS Medium impact... 3 Low impact... 1 No impact... 0 Average Daily Over 25,000... 5 Traffic (ADT) Over 20,000... 4 Over 15,000... 3 Over 10,000... 2 Over 5,000... 1 Less than 5,000... 0 Freight Volumes 12% or greater... 5 (Truck Traffic 9 to <12%... 4 Percentages) 6 to <9%... 3 3 to <6%... 2 1 to <3%... 1 <1%... 0 Roadway Freeway/Expressway or Principal Arterial... 5 Classification Minor Arterial... 4 Collector... 3 Complete Score 1 point for each viable mode in the finished project added or Streets improved: (up to 5 points available) Motor vehicle... 1 Fixed transit route... 1 Pedestrian facility... 1 Bicycling facility... 1 Sidepath... 1 Traffic calming... 1 Status of Project Construction and/or ROW plans complete... 5 P/E and Environmental complete... 4 Initial request for construction funding only... 3 Initial request for construction and ROW funding... 2 Initial request for CON, ROW, and PE/Design (KY, IN)... 1 16

Transportation Factors for Transit Projects (45 points available) Factor Measure Points Positive Project High impact... 5 Impact on Medium impact... 3 Safety & Security Low impact... 1 No impact... 0 Useful Life 15 or more years... 5 10 to 14 years... 4 4 to 9 years... 3 Less than 4 years... 0 System Impact Impact on system and passengers... 5 Impact on passengers only... 3 Impact on system only... 1 Type Replacement or expansion of revenue vehicles... 10 Fixed facility... 8 Support (Non-revenue) equipment... 6 Time to 0 to <1 year... 5 Implementation 1 to 2 years... 3 3 to 4 years... 0 Positive Ridership High increase in ridership... 10 Impact Medium increase in ridership... 6 Low increase in ridership... 2 No increase in ridership... 0 Capital Utilization 3 years/40% in miles over FTA value... 5 2 years/30% in miles over FTA value... 3 1 year/20% in miles over FTA value... 1 17

Transportation Factors for Non-Highway Freight Projects (45 points available) Factor Measure Points Mode Specific Mode V/C > 1.0... 5 Traffic Flow Mode V/C.75 to < 1.0... 4 Mode V/C.50 to <.75... 3 Mode V/C.25 to <.50... 2 Mode V/C <.25... 0 Impact on High number of large trucks removed/day... 20 Roadway Medium number of large trucks removed/day... 10 Congestion Low number of large trucks removed/day... 5 No trucks removed/day... 0 Safety High positive impact... 5 Medium positive impact... 3 Low positive impact... 1 No impact... 0 Status of Project Construction and/or ROW plans complete... 5 P/E and Environmental complete... 3 Initial request for construction and/or ROW funds... 1 No plans completed... 0 Reliability High positive impact... 5 Medium positive impact... 3 Low positive impact... 1 No impact... 0 Facility Type Rail: Mainline track... 5 Passing track (siding)... 4 Branch line... 3 Side, switching and industrial track (rail yard improvements)... 2 Water port: Located on any waterway suitable for commercial shipping (w/direct hwy and rail access)... 5 Located on any waterway suitable for commercial shipping (w/direct hwy or rail access)... 3 Service ancillary port activity or within commercial waterway shipping area... 1 18

Planning Factors for All Projects (55 points available) Factor Measure Points Replacement/ 100% Replacement... 5 Expansion 75% Replacement/25% Expansion... 4 50% Replacement/50% Expansion... 3 25% Replacement/75% Expansion... 2 100% Expansion... 1 Environmental Overall net benefits (good to excellent)... 4-5 Justice Overall net benefits (fair to good)... 2-3 Overall net benefits (none to fair)... 0-1 Note: NET benefit for Environmental Justice indicates a subjective consideration of both POSITIVE and NEGATIVE impacts. SRPP Based on answers, up to 5 points... 0 to 5 Local Planning Consistent--comprehensive plan complete & current... 5 Consistent--comprehensive plan needs improvement... 3 Inconsistent--no comprehensive plan... 0 Air Quality/Energy 2 or more Reduced... 6 to 10 (VMT,VHT & Emission 1 or more Reduced... 0 to 5 Reductions) Local Share 50% or above of estimate... 10 OVER amount 45% to 49% of estimate... 8 Required 40% to 44% of estimate... 6 35% to 39% of estimate... 4 30% to 34% of estimate... 2 20% of project estimate (Required local amount)... 0 Existing Condition Critical... 5 Poor... 3 Fair... 1 Good... 0 Economic Project creates employment... 5 Vitality Project retains employment... 3 Project does not retain employment... 0 History of Project 1 project slipped past programmed year...-3 Delivery 2 or more projects slipped past programmed yr...-5 Applicants up to 25% of original approved funding amount... 0 Requesting 25% to up to 50% of original approved funding amount...-1 Additional Funds 50% or more of original approved funding amount...-2 Intermodal Elements Project involves the interaction and connection of 3 or more modes.. 5 Project involves the interaction and connection of 2 or more modes.. 3 No interaction and connection between modes... 0 19

APPLICANT INFORMATION Applicant: Address: Contact Person/Title: Telephone: e-mail: APPLICATION FORM OKI SUB-ALLOCATED FEDERAL FUNDS KENTUCKY SNK Federal Funds Revised January 2014 PROJECT INFORMATION Describe the proposed project, including location, length of project, termini and scope. If this is a capacity adding project, it must be included in the OKI Metropolitan Transportation Plan (MTP). COST ESTIMATE Phase Requested Funds Local Match Total Project Estimate PE-Right of Way Services Right-of-Way Construction TOTALS Percentages % % % If applicable: Costs for bicycle/pedestrian portion of project Attach a certified cost estimate Engineer s Seal or other Generally Accepted Standard Fiscal Year (July 1 through June 30) for which funds are requested (by phase): PE-RWS Right-of-Way Construction 1

CURRENT STATUS OF PROJECT DEVELOPMENT: DOES THE APPLICANT HAVE AN UPDATED ADA TRANSITION PLAN Yes No if no, please explain: RELATION TO OTHER FUNDING SOURCES: List any other funding sources contemplated or committed RELATION TO OTHER LOCAL/REGIONAL IMPROVEMENTS: Is this project part of a larger project or plan or adopted in a local plan with a budget? LOCAL/REGIONAL SUPPORT AND ENDORSEMENTS: Document public support for the project, including Environmental Justice communities 2

DESCRIBE HOW THE PROJECT MEETS THE GOALS AND OBJECTS OF THE Metropolitan Transportation Plan (Long Range Plan) Refer to Goals and Objectives beginning on page 8 DESCRIBE HOW THE PROJECT MAY POTENTIALLY AFFECT STORMWATER RUNOFF IN THE AREA. (SEE US EPA NPDES PHASE II Final Rule, Dec 2005) MAINTENANCE OF PROPOSED IMPROVEMENTS What provisions and resources are committed to maintain the proposed improvements in a safe and sound condition? 3

TRANSPORTATION FACTORS FOR HIGHWAY PROJECTS ONLY (Any Capacity-Adding Project must be listed in the OKI MTP) 1. What is the existing safety condition of the project area? More than 9 accidents per MVM More than 7 accidents per MVM More than 5 accidents per MVM More than 3 accidents per MVM More than 1 accident per MVM 2. What is the project impact on safety? High Medium Low No Impact Please explain: 3. What is the existing LOS? E/F D C B A 4. What is the impact on LOS? High Medium Low No Impact Please explain: 5. What is the current Average Daily Traffic (ADT)? Source of ADT data (If the project involves several roadway segments, an average should be used and documented) 6. Freight Corridors--What are the truck traffic volumes in the project area? Source of truck ADT data Percentage of total ADT (question #5) 7. What is the roadway classification of this project? Freeway/Expressway or Principal Arterial Minor Arterial Collector 8. How has the Complete Streets concept been applied to the project? Which modes are being improved or added through this project? Motor vehicle Fixed transit route Pedestrian facility Bicycle facility Separate shared use path Traffic calming Please explain: 9. What is the existing status of the project? Construction and/or ROW plans completed P/E and Environmental complete Request for construction funding only (no ROW needed or already acquired) Request for construction and ROW funding Request for CON, ROW and PE/Design (Kentucky and Indiana only) 4

TRANSPORTATION FACTORS FOR TRANSIT PROJECTS ONLY 10. What is the project impact on safety and security? High Medium Low No Impact Please explain: 11. What is the useful life of the proposed project? (FTA Guidelines) 15 or more years 10 to 14 years 4 to 9 years Less than 4 years 12. What is the system impact of the project? Impact on system & passengers Impact on passengers only Impact on system only Please explain: 13. What is the type of project? Replacement or expansion of revenue vehicles Fixed facility Support (non-revenue) equipment 14. What is the time to implementation after funding is granted? 0 to <1 year 1 to 2 years 3 to 4 years 15. What is the anticipated impact on ridership from this project? Increase in ridership Maintain ridership Please explain: 16. Capital Utilization--How has the equipment being replaced been utilized? (provide documentation of age and/or mileage) 3 years or 40% in miles over the FTA value 2 years or 30% in miles over the FTA value 1 year or 20% in miles over the FTA value 5

TRANSPORTATION FACTORS FOR NON-HIGHWAY FREIGHT PROJECTS ONLY 17. Mode specific traffic flow V/C > 1.0 V/C.75 to < 1.0 V/C.50 to <.75 V/C.25 to <.50 V/C <.25 18. Impact on roadway congestion High number of large trucks removed per day Medium number of large trucks removed per day Low number of large trucks removed per day No trucks removed per day Please Explain: 19. Existing safety conditions and impact of project High positive impact Medium positive impact Low positive impact No impact Please Explain: 20. Status of Project Construction and/or ROW plans complete P/E and Environmental complete Initial request for construction and/or ROW funds No plans completed 21. Reliability High positive impact Medium positive impact Low positive impact No impact 22. Facility Type Rail: Mainline track Passing (siding) track Branch line Side, switching, industrialized yard track Water Port: Located on any waterway suitable for commercial shipping (w/direct highway and rail access) Located on any waterway suitable for commercial shipping (w/direct highway or rail access) Serve ancillary port activity or within commercial waterway shipping area 6

PLANNING FACTOR FOR ALL PROJECTS 23. What percentage of project is replacement and what percentage is expansion? % replacement % expansion Please explain: 24. Environmental Justice a. Does your project have any impact(s) on any of the following OKI identified Environmental Justice groups? Check all that apply. See attached maps for details Minority Elderly Zero-car Household Low-income Disabled Please keep in mind that even if your project is not located in or adjacent to an identified Environmental Justice group, there still remains the possibility of impact on one of these groups. All applicants must fill in all questions of the Environmental Justice section for their application to be considered. b. During the implementation state, does the project have a negative impact or burden on any of the OKI identified EJ groups listed above? If so, please describe the temporary negative impact: c. Does the completed project have a negative impact or burden on any of the OKI identified EJ groups? If so, please describe the permanent negative impact(s): d. Describe any plans to mitigate the temporary or permanent negative impacts or burdens associated with the project: e. Describe any direct or indirect permanent benefits of your project on the identified EJ groups: f. How are you planning to communicate with any of the OKI identified EJ groups about your project? (i.e. public meetings, bilingual information, develop community liaisons): 7

25. Strategic Regional Policy Plan (SRPP) a. If appropriate, please select one of the following: Is the project located in a town/neighborhood center or downtown area? Is the project located in an area with a mix of uses with a central focus? Is the project located along a functionally classified major collector or higher roadway with urban development characteristics? Is the project located in an area that is experiencing strong growth pressures and expected and/or planned to develop into a mixed use/multi modal center? Explain: b. Will this project serve brownfield or greyfield properties, or areas where infrastructure is underutilized? Yes No Explain: c. Are efforts to avoid, minimize or offset/compensate for environmental impacts planned as part of this project (e.g. wetlands, forests, streams, noise)? Yes No Explain: d. Are green infrastructure strategies planned as part of this project (e.g. contiguous corridors to reduce habitat fragmentation, innovative stormwater runoff techniques)? Yes No Explain: e. Does this project abut or directly impact any potentially sensitive environmental resources (as identified in state conservation plans, maps or inventories)? Yes No Explain: 26. Local Planning Factor This factor will award up to five points to proposed transportation projects that are consistent with a comprehensive plan or other discrete studies or plans if the applicant can demonstrate that the plan meets similar analysis and content criteria. (Comprehensive plans typically do not address routine maintenance projects; however, routine maintenance is a key factor in preserving the region s existing transportation system. A project that is predominantly 8